General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1962 |
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Página 1
... tion 17 ( a ) or 21 ( a ) shåll , unless made a matter of public record , be deemed confidential . Officers and employees are hereby prohibited from mak- ing such confidential information or documents or any other non - public records ...
... tion 17 ( a ) or 21 ( a ) shåll , unless made a matter of public record , be deemed confidential . Officers and employees are hereby prohibited from mak- ing such confidential information or documents or any other non - public records ...
Página 2
... tion in its possession which may require classifica- tion in the interests of national defense pending determination by an appropriate department or agency as to whether such information should be classified . Rule 0-7 . Consent to ...
... tion in its possession which may require classifica- tion in the interests of national defense pending determination by an appropriate department or agency as to whether such information should be classified . Rule 0-7 . Consent to ...
Página 3
... tion of such provisions of the Act as by their terms do not apply to an " exempted security " or to " ex- empted securities " if— ( 1 ) A State or political subdivision thereof is obligated to make good to the issuer of such secu- rity ...
... tion of such provisions of the Act as by their terms do not apply to an " exempted security " or to " ex- empted securities " if— ( 1 ) A State or political subdivision thereof is obligated to make good to the issuer of such secu- rity ...
Página 4
... tion as a national securities exchange , or for ex- emption from such registration , shall be made in duplicate on Form 1 , each of which shall be ac- companied by the statement and exhibits pre- scribed to be filed in connection ...
... tion as a national securities exchange , or for ex- emption from such registration , shall be made in duplicate on Form 1 , each of which shall be ac- companied by the statement and exhibits pre- scribed to be filed in connection ...
Página 7
... tion . ( b ) No member of a national securities ex- change shall , by the use of any facility of such exchange , execute any sell order unless such order is marked either " long " or " short . " ( c ) No member of a national securities ...
... tion . ( b ) No member of a national securities ex- change shall , by the use of any facility of such exchange , execute any sell order unless such order is marked either " long " or " short . " ( c ) No member of a national securities ...
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Términos y frases comunes
action amendment amount annual report application for registration application or report appropriate becomes effective behalf beneficial owner broker or dealer business day cation certificates Commission curities deemed device or contrivance directly or indirectly director or officer distribution document effective date equity security exempt security filed pursuant financial statements fiscal form of proxy furnish hypothecation indebtedness issuer lien listed and registered market value means ment merger or consolidation national securities ex national securities exchange operation of section options otherwise paragraph participant partner period prior promptly proxy statement pursuant to Rule pursuant to section record registration statement reports pursuant restricted stock section 16 Securities Act securities association securities carried security holders sion specified stock option suant subordination agreement subparagraph subsidiary syndicate or group term thereto tion transaction trust unless unlisted trading privileges vote voting trust warrants or rights